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NVAP Reference Guide - Compliance

and Regulations

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NVAP Reference Guide: Table of Contents

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NVAP Error Report Form

Preface

Introduction

Control and Eradication

Brucellosis

Johne’s Disease

Pseudorabies (PRV)

Tuberculosis

Transmissible Spongiform Encephalopathies

Scrapie

Bovine Spongiform Encephalopathy (BSE)

Chronic Wasting Disease (CWD)

Poultry
National Poultry Improvement Plan (NPIP)

Avian Influenza (AI)

Exotic Newcastle disease (END)

Equine Disease

Aquatic Animal

Aquatic Animal National Health Plan

Aquatic Animal Health Activities

Animal Health Emergency Management

Animal Health Emergency Management

Emergency Response Structure

National Response Framework (NRF)

National Incident Management System (NIMS)

National Animal Health Emergency Management System (NAHEMS)

Foreign Animal Disease Preparedness and Response Plan (FAD PReP)

FAD Recognition and Initial Response

National Animal Health Emergency Response Corps (NAHERC)

Notifiable Diseases and Conditions

WOAH and International Standards

Cleaning and Disinfection

Importance of Cleaning & Disinfection

Cleaning

Disinfection

Regulation of Disinfectants

Safety

Disease Surveillance

Laboratory Submissions

Animal Movement

Interstate Regulations

Interstate Movement of Cattle, Horses, Swine, Sheep and Goats

Issuing Interstate Animal Movement Documents

International Animal Movement

Issuing International Health Certificates (IHCs) for Live Animal Movement

Common Problems Observed on Certificates for Live Animal Movement
Animal Identification 

Animal Identification

Cattle Identification

Swine Identification

Equine Identification

Sheep and Goat Identification

Fowl Identification

Compliance and Regulations

Appendix

A: 9 CFR PARTS 160, 161, and 162

B: APHIS VS District Offices

C: State Animal Health Officials

D: Forms

E: Other Organizational Information with Contact Points

F: Web Sites

G: Equine Teeth and Aging

Compliance 

The forms you submit to APHIS as an accredited veterinarian are scrutinized by VS

personnel for accuracy and completeness. When errors or irregularities are found,

APHIS management may request help from investigators in the agency’s

Investigative and Enforcement Services (IES) unit. But in many cases, the APHIS–VS

Area Offices first works with the accredited veterinarian to resolve the issue.  

IES’ role is to gather all the pertinent facts regarding the issue and present them to

appropriate VS officials in an investigative case report. In most cases, VS officials are

responsible for determining the appropriate disposition of the investigative case

file.  In all cases, VS officials must approve any action initiated with respect to the

veterinarian’s accreditation.

Many of the inquiries that accredited veterinarians receive from IES investigators

involve situations in which the interstate movement of livestock failed to meet State

or Federal requirements. IES investigators look into allegations that an accredited

veterinarian did not abide by the Standards for accredited veterinarian duties
identified in 9 CFR part 161.4. A copy of 9 CFR part 161. 

If you are the subject of an IES investigation, the IES investigator will explain the

alleged violation to you during the interview process. It is important that you present

the facts as well as your reasons for handling a situation in a particular way. In

accreditation cases especially, VS officials are interested in all the background

information regarding the alleged violation. All pertinent case information is

compiled and evaluated by VS officials. A decision is then made as to how to

proceed with disposition of each case.  

The investigator may ask you to sign an affidavit containing your statement about

the alleged violation. IES investigators are authorized to take affidavits and can

explain what an affidavit is and what it means. 

Dispositions can include letters of information or warning, informal conferences,

formal hearings, suspension or revocation of accreditation, and civil and criminal

penalties. APHIS strongly supports these quality-control mechanisms in the interest

of furthering the agency’s mission of protecting American agriculture. 

The Role of IES 

IES’ primary responsibility is to investigate alleged violations of APHIS regulations.

IES investigators nationwide provide assistance to VS with the following activities:

Interviewing and collecting information from accredited veterinarians,

witnesses, alleged violator(s), and others involved in the alleged violation(s);

Identifying applicable sections of the CFR, acts, and laws;

Collecting evidence associated with alleged violations;

Preparing investigative case files; and

Working with the VS program officials to assess appropriate penalties and

sanctions. 

Your Responsibility for Compliance 

The Animal Health Protection Act (AHPA) governs the accreditation of veterinarians

as codified in 9 CFR parts 160 and 161. As an accredited veterinarian, you should

familiarize yourself with these regulations because you are obliged to comply with

these standards. Noncompliance can result in violations and possible administrative,
civil, or criminal sanctions. 

The following are a few examples of violations of the veterinary accreditation

standards identified in 9 CFR 161.4 that IES investigators may cite:

161.4(b)—Failing to complete an official form accurately and fully. Submitting

incomplete forms or leaving sections blank is a violation.

161.4(d)—Failing to perform an official test and to submit specimens.

Submitting fraudulent blood samples for official testing is a violation.

161.4(h)—Failing to keep oneself currently informed on regulations pertaining

to procedures applicable to disease control and eradication programs.

161.4(j)—Failing to ensure the security and proper use of official certificates,

reports, tags, and similar items or documents issued to you. Allowing an

unauthorized person such as an owner or a broker to issue official certificates is

a violation. 

An IES investigator may also cite a violation of 9 CFR 161.6(f), knowingly issuing or

signing a false, incorrect, or mislabeled animal health or inspection certificate, blood

sample, official brucellosis vaccination certificate, or official tuberculin test

certificate. 

Actions and Penalties  

All pertinent case-file information is compiled by IES and evaluated by VS officials.

The APHIS –VS Assistant Director determines the appropriate enforcement action for

most cases involving violations of Veterinary Accreditation Program regulations. In

cases involving alleged violations of 9 CFR 161.6(f), IES may recommend

enforcement action, including civil penalties, and the Assistant Director makes the

final decision regarding whether a proposed action is appropriate.  USDA may carry

out one or more of the following actions: 

Provide written notification when the accredited veterinarian has not complied

with the Standards for Accredited Veterinarian Duties;

Hold an informal conference; and/or

Proceed with an administrative hearing before an administrative law judge.

USDA will then determine the final disposition and penalties, if applicable, and

may take one or more of the following actions:

Issue a written notice of information or warning;
Suspend or revoke veterinary accreditation; and/or

Pursue civil or criminal penalties through the Office of the General Counsel

and/or Department of Justice.

The AHPA does not allow for monetary penalties for most violations of the Veterinary

Accreditation Program. However, if your actions involve interstate violations of

livestock movement regulations, the categories in 9 CFR 161.6(f), or if your actions

contribute to any violations of the AHPA other than veterinary accreditation, your

case may be referred to the USDA Office of Inspector General, USDA Office of

General Counsel, or the U.S. Department of Justice, and you may be assessed civil or

criminal monetary penalties. 

IES Contact Information

IES contributes to the overall APHIS mission to protect American agriculture by

providing regulatory enforcement support. IES has investigators nationwide.

IES’ headquarters office is located at:

USDA, APHIS, MRPBS, IES 

4700 River Road, Unit 85 

Riverdale, MD 20737–1234 

(301) 851-2948